Proposed Labor Department amendments to the Fair Labor Standards Act and pending legislation in the Senate are the latest challenges in this area
The Chair of the House Financial Services Committee also targeted rules surrounding opening up private markets
New Hampshire Bureau of Securities Regulation called the settlement the 'largest monetary sanction' in the regulator's history
Establishing an easily understood rule for advisers shouldn't be this difficult
RR Donnelley and Cognizant Technology Solutions were sued, and Trader Joe's fended off a legal attack
Valerie Szczepanik will continue to head the office
Fiduciary duty? Best interest? They’re ultimately political decisions
Mark Lisser peddled 'pre-IPO' shares in New York and Florida
A NASAA model rule would impose 12 hours of CE annually for IARs
The former SEC executive will beef up the organization's detection, investigation and prosecution
Two former wirehouse brokers run afoul of Reg S-P, according to Finra
Under the proposed rules, most companies on the U.S. exchange would have to have one woman director and one who is minority or LGBTQ
CRDs are only available until year-end, so advisers should contact any clients who may still benefit from taking a distribution before the option expires
Craig Rumbaugh and his California-based firms will pay $1 million for misleading investors
A grocery chain is paying $17.5 million in one case, and a pharmaceutical company is shelling out more than $2.5 million in another
Approval may be moot as the new administration could easily quash it
Two new audits reveal underpayments to certain groups of beneficiaries
Plan would allow drivers, people who deliver food and other gig workers to receive up to 15% of their compensation in shares
Sen. Richard Neal, D-Mass., criticized the measure for not including an assumption that 401(k) balances appreciate
Regulators found that the bank's asset and wealth management businesses lacked controls to avoid conflicts of interest
